Senior Regulatory Compliance Specialist

24 hours ago

Belgaum, Karnataka, India beBeecompliance Full time ₹ 15,00,000 - ₹ 22,00,000

Synopsis: We are seeking a Compliance Expert to ensure the highest standards of corporate governance and ethics within our organization.

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  • The Compliance Expert will be responsible for conducting thorough reviews of employee trading activities to ensure compliance with regulatory requirements.
  • This individual will enforce a robust trade preclearance process to guarantee alignment with regulatory guidelines and internal policies.
  • The Compliance Expert will collaborate with investment banks and approved brokers to establish and maintain employee trading accounts.
  • In addition, they will perform detailed analyses of statements from non-approved brokers to identify and mitigate potential risks.
  • This role also entails monitoring electronic communications within the firm to address potential breaches related to Material Non-Public Information (MNPI).
  • The Compliance Expert will facilitate and track compliance training sessions to enhance employee understanding of regulatory obligations.

Requirements: The ideal candidate should possess an understanding of financial products and compliance best practices, excellent analytical skills, attention to detail, and the ability to collaborate across departments.

A Bachelor's degree in commerce, finance, accounting, business, law, or a related field is required, along with a minimum of 5+ years of experience in compliance, regulatory affairs, or a related field.

Key Skills: We are looking for individuals with strong written and verbal communication skills, proficiency in Microsoft Office Suite, and compliance-related software tools. The successful candidate must also be able to work independently in a remote environment.

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